The UNDAF:
Linking Analysis with Results
Session 6
Session objectives
• To introduce the concepts of RBM and to
show how HRBA brings depth and legitimacy
to our practice of RBM
• To formulate results and indicators that
responds to the analysis we conducted in
session 5
What is a Result ?
A describable or measurable
change resulting from a cause and
effect relationship
- UNDG agreed RBM terminology
What is results based
management?
A management strategy aimed at ensuring
that activities achieve desired results
Performance monitoring is a critical element
• How well are results being achieved
• What measures are needed to improve the
process
In plain language…
RBM helps us to connect what we do to what we want to achieve
RBM also tells us how we’ll know if we’ve achieved it
Elements of RBM (1)
• Problem analysis to understand causes
 Linkage
RBM does not tell us the right questions to ask
A HRBA does…
HRBA and Problem
Assessment & Analysis
A HRBA helps the UN and partners to answer 4
critical questions:
Who has been left behind
Why? Which rights are at stake?
 Who has to do something about it?
 What do they need, to take action?
Process and outcome are equally important
Elements of RBM (2)
• Structuring of programmes around a chain of
SMART results – responding to analysis
• Causality in the chain of results (if… then logic)
• Use of ‘change language’ (future conditional)
 Linkage
RBM does not tell us what kinds of changes we should
be aiming for
A HRBA does…
HRBA and Change
Process is guided by human rights principles
… performance (behaviours of duty
bearers and/or right holders and
their institutions)
Output: change in …
…the capacity of duty bearers and right
holders
Conclusions and recommendations from UPR, Treaty Bodies, and
Special Procedures help to identify
specific behaviours and capacities
Capacity Gap
Analysis
Outcome: change in…
Role
Analysis
HRBA
…quality of life (the realization of
human rights)
Causal
Analysis
RBM
Impact: change in…
Elements of RBM (3)
• Indicators to measure performance
• Costing of results (RBB) rather than isolated activity
budgeting
• Monitoring and reporting on progress against planned
results
 Linkage
RBM does not tell us how to monitor and report on
change
A HRBA does…
HRBA and performance
monitoring & measurement
Human rights principles and standards
guide…
•Selection of indicators
•Mechanisms for monitoring and reporting on
development processes with stakeholders
In sum…
A HRBA brings depth and credibility to our
practice of RBM by telling us…
•the right questions to ask
•the kinds of changes we should be aiming for
•how to measure, monitor, and report on
change with stakeholders.
Advantages
• Improved focus on results instead of activities
• Improved transparency
• Improved accountability
• Improved measurement of programme achievements
(performance rather than utilization)
• Enhanced strategic focus
• No choice, it is an industry standard
• To get more funds!!
Challenges
• Difficult to apply causal logic
• Difficult to learn
• Difficult to integrate
• Difficult to revise (... or reluctance to revise? )
• Difficult to measure
• Difficult to ‘attribute’
(at outcome level, the UN is accountable but not wholly responsible)
Go to typology
Results Matrix
Group Activity
Using the set of cards provided, develop
Results Framework Template
a results framework…
National priority/ goal
Outcome
Outcome
Output
Output
Output
Output
Output
Reduce the level of poverty and income inequality
New businesses and jobs are created in
targeted, poor rural and urban areas
Market-based vocational training
programmes are developed
Disadvantaged groups including youth and
PLWHA have access to improved
employment services and preferential credits
for business development.
Local business development funds piloted in
selected areas
Private public partnerships (PPP)s are
created in poor rural and urban areas for
infrastructure development and service
provision
Local public administrations
operate in a more effective and
transparent manner
Decentralization framework is
strengthened, emphasising (1)
delegation of authority, (2)
decentralization of services, (3)
costing of local services and budget
needs of LPAs
Administrative procedures and
systems are simplified and
streamlined to provide better
services.
Targeted departments of LPAs plan,
implement, and monitor in a
participatory manner
Typical pitfalls
• Wordy (..and no change language)
To promote equitable economic development and
democratic governance in accordance with international
norms by strengthening national capacities at all levels
and empowering citizens and increasing their
participation in decision-making processes
• Too ambitious
Strengthened rule of law, equal access to justice and the
promotion of rights
• Containing multiple results
The state improves its delivery of services and its
protection of rights—with the involvement of civil
society and in compliance with its international
commitments
Typical pitfalls
• Wishy-washy (ie. Support provided to improve..)
Support to institutional capacity building for improved
governance
• So general, it could mean anything
To promote sustainable development and increase capacity
at municipal level
• Overlapping with National goals/ MDGs (impacts)
Substantially reduce the level of poverty and income
inequality in accordance with the MDGs and PRSP
• Confusing means and ends
Strengthen the protection of natural resources through the
creation of an enabling environment that promotes sound
resources management
Country Examples
Note to facilitation team:
•Insert 1-3 slides with results chains from current UNDAF
•With their new knowledge, ask participants to reflect on the
‘SMART’ness of their results
•Examples from Lao PDR follow…
Good example
By 2013, women of reproductive age in Benguela province
enjoy high quality maternal health care
- % pregnant women completing 4 ANC visits
- % births supervised by trained attendant
- No. District Health Centres staffed and equipped to provide EMOC services
- % women/ families reporting they are satisfied with obstetric care services (in-service
survey completed in all health centres)




It meets a standard related to the right to health
It reflects recommendations from CEDAW, CRC, and CESCR
It embodies the principle of equality and non-discrimination
It contains a subject and a clear description of change
(a “who” and a “what”)
 It is understandable by most readers
 It reflects a clear choice about policy or strategy
 It is specific, measurable, and time-bound
But…
• Is it achievable?
• Is it relevant to National development priorities?
• Is it a good bet?
These are contextual factors
Group Work
In groups…
• Reflect on the 3-step analysis
• Develop…
– 1 outcome
A change in the performance of the rights holder or duty bearer…What are
they doing differently?
May involve legal, policy, and institutional reforms
Hint:
Combine the RH or DB and the claim for a more ambitious outcome
Combine the DB and the obligation or RH and higher level capacity gaps
(behaviours) for a less ambitious outcome
– 2 contributing outputs
New capacities that contribute to increased performance
Hint: Look to the key capacity gaps of the DBs and RHs – particularly those
related to skills, abilities, products and services
Group Work (con’t)
Build a results framework on the wall…
Outcome
Output
Output
UNDAF Process
HRBA guides the
process to measure,
monitor, and report on
progress with all
stakeholders
Road Map
- Preparation process of the
UNDAF
Monitoring &
Evaluation
Country Analysis
- Review existing analysis
(assessment)
- UNCT supported analysis
- Identify UNCT
comparative advantages
Programme Planning
& Implementation
(Agency or Multi-Agency
Joint Programmes)
HRBA shows the kinds
of results we should be
aiming for
HRBA offers the right
questions to ask
Strategic Planning
- Strategic priorities for
UNDAF/ UNDAF Action
Plan
A Human Rights-Based
Approach to Monitoring
Monitoring vs. Evaluation
Monitoring
Evaluation
Systematic, ongoing

Systematic, periodic
During programme implementation

During and after programme
implementation
Tracking of activities and progress

Judgement of merit, value or worth of
a programme/project
According to AWP

Compared to evaluation criteria
(relevance, effectiveness, impact)
For short term corrective action

For decision-making about future
programmes
Accountability for implementation

Accountability for results
Contributes to evaluation

For office & organizational learning
Conducted by insiders

Conducted by impartial outsiders
Are we doing things right?

Did we do the rights things?
A Human Rights Based Approach
to Monitoring
• A comprehensive M&E plan sensitive to human rights
concerns addresses:
– Results and indicators
– Processes (both development processes and processes for for
monitoring and reporting)
• Process monitoring
– Checks that vulnerable groups are involved in programme
implementation and benefit equally from programme results
– Ensures that intended beneficiaries are able to participate freely in
monitoring and reporting processes
Some Fundamental Questions…
• What to measure?
• Who to involve?
• How to measure?
AND
• How is M&E process addressing participation, nondiscrimination and accountability? (see checklist)
What to Measure?
• Ideally:
– Results
Outputs
Outcomes
Impacts (often tied to National monitoring systems for the
National Plans, PRSs, and MDGs)
– Mechanisms and processes for programme
implementation, monitoring and reporting
Who to Involve?
• Another way of thinking about how to apply
principles of ‘participation and inclusion’ to M&E
process
• A HRBA
– Ensures that both rights-holders and duty-bearers are
involved in M&E
– Will pay special attention to measures that include
vulnerable groups
How to Measure?
• Human rights principles and standards guide the
selection of indicators and the development of
monitoring and reporting systems
• Indicators should be chosen that:
– Capture the extent to which human rights principles have
been incorporated into all stages of the programme
– Demonstrate how incorporating human rights standards
has contributed to overall programme effectiveness
• Processes must be non-discriminatory, participatory
and accountable
– Be wary of “elite capture”
What is an indicator?
A tool to measure evidence of progress towards
a result or that a result has been achieved
Indicators
“ Tools
to measure evidence of progress towards a result or that
a result has been achieved”
Technical Qualities:
 Indicators must be able to be reliably replicated and objective
 Good and clear outcomes and outputs are necessary to generate good
indicators
 Indicators must have a direct relationship to the outcomes or outputs they
are measuring
 Indicators must be accompanied by baselines and targets
Indicators
 Indicators describe how the intended results will
be measured - accountability
 Objectively verifiable measures of a particular
condition
 They force clarification of what is meant by the
result
 like the “fine print” of an agreement
 Must be accompanied by baselines and targets
Baseline, Target and Achievement
Performance
Commitment
Planned
Level of
Achievement
Current
Level of
Achievement
Achievement
At end of period
Types of Indicators
Quantitative statistical
measures:
• Number of
• Frequency of
• % of
• Ratio of
• Variance with
Qualitative judgments or
perceptions:
• Alignment with
• Presence of
• Quality of
• Extent of
• Level of
Example: Indicators, Baseline, Target
and Source of Data
Outcome:
By 2007, more
girls in Belem
Province enjoy a
quality, basic
education
Output:
800 teachers in
Belem Province
can deliver the
new curriculum
effectively
Indicator:
Net enrolment
ratio
(M; F)
Baseline: F:45%
Target: F: 75%
- Improvement in
school test scores
Indicator:
# Teachers with new
certification
Baseline: 0
Target: 800
-Teacher proficiency
reports
-Improvement of school
satisfaction ratings
Source of Data
-MICS (survey)
-Annual school
test scores
report
Source of Data:
- MECYS EMIS
-School
satisfaction
surveys
HRBA and indicator development
• Inclusiveness: Do your indicators capture the experience
of vulnerable and marginalised groups? Can your
indicators be disaggregated?
• Ownership: Have RHs and DBs contributed to the
development of the indicators? Do they have confidence
in the indicators chosen?
• Clarity: Are they clear and understandable to all audiences,
including vulnerable and marginalised groups?
Group Work (30 m)
In Groups…
• Develop 2 indicators for each outcome and
contributing output
• Add to your results framework…
Outcome
Output
Indicators
Indicators
Output
Indicators
Group Work (15 m)
In Groups…
• Choose 1 principle from…
– Equality and non-discrimination
– Participation and inclusion
– Accountability and rule of law
• Make up to 3 changes in your results framework
(results and indicators) to reflect the principle
• Be ready to present in plenary…
Human Rights Principles
• Universality and
inalienability
• Indivisibility
• Interdependence and Interrelatedness
• Equality and nondiscrimination
• Participation and inclusion
• Accountability and rule of
law
Gallery
Your opportunity to “visit” other groups and give feedback
Reflect on…
– The logical flow of results and use of change language
– The SMART-ness of the framework, particularly the formulation of indicators,
assumptions and risks
– The linkage between the results framework and the human rights-based analysis.
 Is it intuitive?
 Do the results respond to the underlying and root problems revealed by the
analysis?
 Do the outcomes show changes in the performance of rights-holder to claim
their rights, duty-bearers to meet their obligations?
 Do the outputs address identified capacity gaps?
!! Remember - leave comments behind on post-it notes.
UNDAF Process
HRBA guides the
process to measure,
monitor, and report on
progress with all
stakeholders
Road Map
- Preparation process of the
UNDAF
Monitoring &
Evaluation
Country Analysis
- Review existing analysis
(assessment)
- UNCT supported analysis
- Identify UNCT
comparative advantages
Programme Planning
& Implementation
(Agency or Multi-Agency
Joint Programmes)
HRBA shows the kinds
of results we should be
aiming for
HRBA offers the right
questions to ask
Strategic Planning
- Strategic priorities for
UNDAF/ UNDAF Action
Plan